Investors might have sustained losses due to securities broker Joshua Shipley [CRD: 6631027, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Shipley joined Dominari Securities LLC on April 13, 2023. Before that, he worked at Revere Securities LLC from January 20, 2021 to April 12, 2023. Read on […]

Investors reportedly complained about securities broker Jason Peter Doneth (also known as Jason Peter Daneth) [CRD: 4696330, Salem, Oregon], according to publicly available information on FINRA BrokerCheck. It appears that Doneth worked for LPL Financial LLC from February 13, 2004 to May 21, 2015, and joined Ameriprise Financial Services LLC on May 15, 2015. Keep […]

Regulators suspended securities broker Kyle Joon Kim (also known as Kyo Kim) [CRD: 2446395, Summit, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Kim worked for The Leaders Group Inc. from May 28, 2024 to May 16, 2025, and for LPL Financial LLC from February 14, 2018 to June […]

Investors apparently complained about securities broker Raymond Wyman Chow [CRD: 2860124, Elk Grove, California], according to disclosures on FINRA BrokerCheck. Chow joined Wedbush Securities Inc. in Elk Grove, California, as both a securities broker and financial advisor on March 20, 2008. Below, you can learn more about the disclosures involving Raymond Chow. Wedbush Securities Client […]

Investors potentially experienced sales practice violations because of securities broker Eric Scott Ruthman [CRD: 6281076, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ruthman joined Purshe Kaplan Sterling Investments on August 11, 2021, and Phase Line Capital LLC on July 12, 2021. He previously worked for LPL Financial LLC in […]

Investors might have sustained losses due to securities broker Robert Hill (also known as Bob Hill) [CRD: 2268971, Westport, Connecticut], according to disclosures on FINRA BrokerCheck. Hill works for Saxony Securities Inc. and Rose Capital Advisors LLC, both in Westport, Connecticut, having joined those firms on June 23, 2025, and July 10, 2025, respectively. Previously, […]

Investors might have sustained losses because of securities broker Daniel Isreal Schapiro (also known as Dan Schapiro) [CRD: 2335244, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schapiro joined Dominari Securities LLC on March 1, 2024. Previously, he worked at Aegis Capital Corporation from August 15, 2017 to March […]

Investors reportedly complained about securities broker Lin Han (also known as Lilly Han) [CRD: 6781075, Dallas, Texas], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Lin Han joined Landolt Securities Inc. on January 22, 2018, and TKC Wealth Management LLC on July 24, 2017. Keep reading to find out more about […]

Investors potentially experienced sales practice violations due to securities broker Aubrey Dexter Parker [CRD: 2454088, Stone Mountain, Georgia], according to publicly available information on FINRA BrokerCheck. Parker worked for Wells Fargo Clearing Services LLC from December 15, 2010 to July 14, 2025. Below, you can learn more about the disclosures involving Parker, including investor complaints […]